Capturing Rollovers


Posted on January 26, 2012, by Fred Reish in Broker-Dealers, DOL Activity, Registered Investment Advisers, RIA. Comments Off on Capturing Rollovers

I have recently written an article on “Capturing Rollovers.” The article discusses the DOL’s guidance on the issues involved in capturing rollovers, both by broker-dealers and RIAs. The article analyzed that guidance and discussed programs for RIAs and broker-dealers. You can download a PDF of the article by clicking on the link below:

http://www.drinkerbiddle.com/files/ftpupload/pdf/CapturingRollovers.pdf







Recent Insights

Interesting Angles on the DOL’s Fiduciary Rule #62

Is It Possible To Be An Advisor Without Being A Fiduciary?

This is my 62nd article about interesting observations concerning the Department of Labor’s fiduciary...

Interesting Angles on the DOL’s Fiduciary Rule #61

The Fiduciary Rule, Distributions and Rollovers

This is my 61st article about interesting observations concerning the Department of Labor’s fiduciary rule and exemptions. These articles...

Interesting Angles on the DOL’s Fiduciary Rule # #60

What the Tibble Decision Means to Advisers

This is my 60th article about interesting observations concerning the Department of Labor’s fiduciary rule and exemptions. These...